O'brien Investment Management, Llc
- Regulatory AUM
- $254M
- Discretionary
- $254M
- Clients
- 167
- Avg AUM / client
- $1.5M
- Accounts
- 334
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 69 | $11.0M | 4.33% |
| High net worth individuals | 96 | $238M | 93.7% |
| Pension and profit sharing plans | 2 | $4.9M | 1.93% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Michael Dennis O'brien | President, Chief Compliance Officer | CFA | May 2016 (10y) | 75% or more |
| John Shiels O'brien | Partner | Jan 2018 (9y) | 25% – 50% |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 903 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- National Financial Services (Fidelity) $163M (64% of AUM) Aug 2026
- Reliance Trust Company $4.5M (2% of AUM) Mar 2024
- Charles Schwab & Co. $4.4M (2% of AUM) Aug 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Aug 27, 2026.
View current Form ADV (SEC/IAPD) ↗